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CHAPTER 10 GATT and WTO
GATT
WTO
China and WTO
§1 GATT
1. The origination of the GATT
2. The GATT's activities: eight trade negotiation
“Rounds”
3. The Uruguay Round of trade negotiations
4. Two GATTs
5. WTO v.s. GATT: main differences
The origination of the GATT
Handle the trade side of international economic cooperation
50+ countries negotiated to create ITO (specialized agency of UN).
Draft ITO Charter: ambitious, broad areas.
Create the ITO at a UN Conference on Trade and Employment in Havana, Cuba in 1947.
International Trade Organization (ITO)
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Meanwhile, 15 countries began talks in Dec.1945 to reduce
and bind customs tariffs.
A deal on 45,000 tariff concessions(减让) was signed by 23 countries on 30 October 1947.
The tariff concessions came into effect by 30 June 1948 through a “Protocol (议定书) of Provisional Application”.
So the General Agreement on Tariffs and Trade was born, with 23 founding members (officially “contracting parties”缔约方).
The ITO Charter was finally agreed in Havana in March 1948, but ratification in some national legislatures proved impossible.
The most serious opposition was in the US Congress, even though the US government had been one of the driving forces.
In 1950, the US government announced that it would not seek Congressional ratification (批准) of the Havana Charter, and the ITO was effectively dead.
So, the GATT became the only multilateral instrument governing international trade from 1948 until the WTO was established in 1995.
2. The GATT's activities: eight trade negotiation “Rounds”
The first five rounds of trade negotiations (1947-1961)
Some multilateral tariff reductions were achieved.
Year Place/name Subjects covered Countries
1947 Geneva Tariffs 23
1949 Annecy Tariffs 13
1951 Torquay Tariffs 38
1956 Geneva Tariffs 26
1960-1961 Geneva Tariffs 26
(2) The Kennedy Round of trade negotiations (1964-67)
The US led the way into a new round of negotiations from 1964 to 1967.
Tariffs on manufactured products were reduced by an average of 35%.
Little progress was achieved in reducing barriers on agricultural products.
Little was done to ease non-tariff barriers.
(3) The Tokyo Round of trade negotiations (1973-79)
It continued to reduce tariffs, bringing the average tariff on
industrial products down to 4.7%.
A series of agreements on non-tariff barriers did emerge from the negotiations, in some cases interpreting existing GATT rules, in others breaking entirely new ground.
It failed to come to grip with the fundamental problems affecting farm trade and also stopped short of （不再）providing a modified agreement on “safeguards” (emergency import measures).
3. The Uruguay Round of trade negotiations (1986-94)
Problems 1: GATT’s credibility and effectiveness were undermined:
Governments in Western Europe and North America seek bilateral market-sharing arrangements with competitors and embark on a subsidies race to maintain their holds on agricultural trade.
Problem 2: GATT had been found wanting (欠缺的). It was clearly no longer as relevant to the realities of world trade as it had been in the 1940s.
Little success in liberalizing agricultural trade;
Trade in textiles and clothing was an exception to GATT’s normal disciplines;
GATT’s institutional structure and its dispute settlement system
were causing concern.
Only deal with trade in goods.
The Uruguay Round experienced two phases:
The first four years, 1986～1990 (15 groups)
Tariffs;
NTBs;
Tropical products;
Natural resource-based products;
Textiles and clothing;
Agriculture;
Safeguards;
Subsidies and countervailing duties;
Trade-related intellectual property restrictions;
Trade-related investment restrictions;
Services.
Four other areas dealing with GATT itself.
The United States initially proposed a 10 year phaseout (过渡期) of all subsidies that affect agricultural trade and of all agricultural import barriers.
But the EU wanted to go more slowly and to moderate the
extent of reduction in agriculture support.
By 1990, the wide disparity (不一致) in subsequent proposals overshadowed all other aspects of the negotiations, and the four year effort had seemingly ended with no signed agreement on the liberalization of trade.?
(2) Continued negotiations lead to success, 1993
EC agricultural support program that harmed U.S. exports of oilseeds. In retaliation for the EC subsidy, the U.S. threatened to impose 200% tariffs on EC exports to the U.S. ($300 million).
An accord was eventually reached by which the oilseeds export subsidies were to be reduced 36% by value and 21% by quantity over a six-year period.
This positive development then set off activity to work again on many other aspects of the Uruguay Round.
Finally, after intense discussions, the 117 participating countries in the Uruguay Round reached agreement on December 15, 1993 and the signing took place on April 15, 1994, in Marakech, Morocco.
After ratification by participating countries, the agreement took effect on January 1, 1995.
(3) Provisions of the Uruguay Round Agreement
① Tariffs on average were cut by 34%.
② The value of agriculture export subsidies was to be cut by 36%
and most domestic support for agriculture by 20%.
③ Textiles and apparel trade was to be moved from the existing
quota framework of Multi-fiber Arrangement into the GATT
framework, with tariffs to be phased out over 10 years.
④ Revised rules were adopted regarding dumping and export
subsidies, and a voluntary export restraints were to be
eliminated.
⑤ Actions on trade-related intellectual property rights (TRIPS)
provided for minimum standards for trademarks, patents, and
copyrights.
⑥ Some trade-related investment measures (TRIMS) were to be
eliminated.
⑦ A specific General Agreement on Trade in Services (GATS)
calls for “national treatment”.
⑧ New procedures were adopted for the settlement of disputes.
⑨ GATT itself was replaced by a new organization, the World
Trade Organization.
4. Two GATTs
(1) As an international agreement, GATT still exists. But it
has been updated.
The old version: “GATT 1947”
The updated version : “GATT 1994”, lives alongside the
GATS and TRIPS
(2) As an international organization created later to support
the agreement, GATT no longer exists.
5. WTO vs. GATT: main differences?
(1) Nature
GATT — ad hoc and provisional
(never ratified in members’ parliament and contained no provisions for the creation of an organization)
WTO — permanent, has sound legal basis
(members have ratified the WTO agreements)
(2) Scope
GATT — goods only.
WTO — goods, services and trade-related aspects of intellectual
property rights.?
(3) Approach
GATT — selective basis (plurilateral)
WTO (3 types): Multilateral (a single undertaking)
Specific sector agreements
Plurilateral: government procurement agreement
(4) Dispute settlement
WTO: Specific time limits, faster than the GATT
争端解决程序上采用反向一致 （negative consensus）方式,
而不是GATT的正向一致方式
Has permanent appellate [ ‘pel t] body (上诉机构) to review
findings by dispute settlement panel.
§2 WTO
1. An Overview
★ 2. The fundamental principles of the WTO
3. The structure of the WTO
4. WTO Agreements
5. Ministerial conferences
An overview
One of the results of Uruguay Round
Established in the light of the Marrakesh Agreement Establishing the World Trade Organization
included in the Final Act （文件） Embodying the Results of the Uruguay Round of Multilateral Trade Organizations.
The only international organization dealing with the global rules of trade between nations.
By 23, November, 2016, the WTO had 164 members.
(117 are developing countries or separate customs territories)
The WTO's overriding objective is to help trade flow smoothly, freely, fairly and predictably.
It does this by:
Administering trade agreements;
Acting as a forum for trade negotiations;
Settling trade disputes;
Reviewing national trade policies;
Assisting developing countries in trade policy issues, through technical assistance and training programmes;
Cooperating with other international organizations.
★ 2. The fundamental principles of WTO
Trade without discrimination
Treating other people (nations) equally.
① Most-favoured-nation treatment (MFNT):
Cannot normally discriminate between their trading partners in goods, investment, services, and intellectual property
GATT Article 1, GATS Article 2, TRIPS Article 4.
Exceptions: Free Trade Area, GSP, traded unfairly.
Exceptions are allowed under strict conditions.
② National treatment
Treating foreigners and locals equally in goods, investment, services, and intellectual property.
GATT Article 3, GATS Article 17 and TRIPS Article 3.
National treatment only applies once a product, service or item of intellectual property has entered the market.
Therefore, charging customs duty on an import is not a violation of national treatment even if locally-produced products are not charged an equivalent tax.
(2) Freer trade: gradually, through negotiation
Lowering trade barriers is one of the most obvious means of encouraging trade.
Eliminating NTBs
Opening markets can be beneficial, but it also requires adjustment.
The WTO agreements allow countries to introduce changes gradually, through “progressive liberalization”.
Developing countries are usually given longer time to fulfill their obligations.
(3) Predictability: through binding and transparency
In the WTO, when countries agree to open their markets for goods or services, they “bind” their commitments.
A country can change its bindings, but only after negotiating with its trading partners, which could mean compensating them for loss of trade.
Discourage the use of quotas and other measures used to set limits on quantities of imports.
Make countries’ trade rules as clear and public (“transparent”) as possible.
(4) Promoting fair competition
Not an entirely free trade institution. The system does allow tariffs and, in limited circumstances other forms of protection. More accurately, it is a system of rules dedicated to open, fair and undistorted competition.
Many of the other WTO agreements aim to support fair competition.
Allow charging additional import duties calculated to compensate for damage caused by unfair trade.
(5) Encouraging development and economic reform
Allow for special assistance and trade concessions for developing countries.
The agreements did give developing countries, particularly so for the poorest, “least-developed” countries, transition periods to adjust to the more unfamiliar and, perhaps, difficult WTO provisions.
3. The structure of the WTO
Highest authority
Carry out the functions of the WTO
Meet at least once every two years
day to day business
representatives of members （once/ 2 months）
convenes also as the Dispute Settlement Body (DSB) and Trade Policy Review Body.
3 Councils: Goods, Trips, Services.
6 Committees: trade and development,
trade and environment,
regional trading arrangements
administrative issues.
committees dealing
with specific subjects
working party.
goods council :
11 committees
4. WTO Agreements
“The Results of the Uruguay Round of Multilateral Trade Negotiations: The Legal Texts” is a daunting list of about 60 agreements, annexes, decisions and understandings.
The agreements fall into a simple structure with SIX main parts:
An umbrella agreement (The Agreement Establishing the WTO)： 1
Agreements on three broad areas of trade： 3
(goods, services and intellectual property);
Dispute settlement： 5
Reviews of trade policies： 6
Table 10-2 The structure of the WTO agreements
The basic structure of the WTO agreements: how the six main areas fit together — the
umbrella WTO Agreement, goods, services, intellectual property, disputes and trade policy
reviews.
Umbrella Agreement establishing WTO (1)
Goods Services Intellectual property
Basic principles GATT (2) GATS (3) TRIPS (4)
Additional details Other goods agreements
and annexes
Services annexes
Market access
commitments Countries’ schedules
of commitments (and
MFN exemptions) Countries’ schedules
of commitments (and
MFN exemptions)
Dispute settlement Dispute settlement (5)
Transparency Trade policy review (6)
Marrakesh Agreement Establishing the World Trade Organization.
Annex 1A: Multilateral Agreements on Trade in Goods
General Agreement on Tariff and Trade 1994
Agreement on Agriculture
Agreement on the Application of Sanitary and Phytosanitary (植物检疫) Measures
Agreement on Textiles and Clothing
Agreement on Technical Barriers to Trade
Agreement on Trade-Related Investment Measures
Agreement on Implementation of Article VI of the General Agreement on Tariffs and Trade 1994 (Antidumping)
Agreement on Implementation of Article VII of the General Agreement on Tariffs and Trade 1994 (Customs Valuation)
Agreement on Pre-shipment Inspection★
Agreement on Rules of Origin
Agreement on Import Licensing Procedures
Agreement on Subsidies and Countervailing Measures
Agreement on Safeguards
Annex 1B: General Agreement on Trade in Services
Annex 1C: Agreement on Trade-Related Aspects of Intellectual Property Rights
Annex 2: Understanding on Rules and Procedures Governing the Settlement of Disputes
Annex 3: Trade Policy Review Mechanism
Annex 4: Plurilateral Trade Agreement
Table 10-3 The WTO’s major legal text
Pre-shipment Inspection （PSI）
Importing country engage companies to verify price,
quantity, quality, etc., before the goods are shipped
from exporting countries.
To prevent over and under invoicing and fraud, thus prevent the flight (外逃) of capital and the evasion of customs duties.
Today, over 30 countries in Africa, Asia and Latin America use these service
The ten ministerial conferences since 1994
1996-12 Singapore, disagreements on four issues (Singapore issues)
1998-05 Geneva, Switzerland
1999-11,12 Seattle, USA, ended in failure, with massive demonstrations and police and National Guard crowd control efforts drawing worldwide attention.
2001-11 Doha in Persian Gulf nation of Qatar.
The conference also approved the joining of China
2003-12 Cancún, Mexico. aiming at forging agreement on the Doha round
The G20 developing nations (led by India, China and Brazil), resisted demands from the North for agreements on the so-called "Singapore issues" and called for an end to agricultural subsidies within the EU and the US. The talks broke down without progress.
2005-12 Hongkong. Countries agreed to phase out all their agricultural export subsidies by the end of 2013, and terminate any cotton export subsidies by the end of 2006.
2009-12 The general theme for discussion was “The WTO, the Multilateral Trading System and the Current Global Economic Environment”.
The ten ministerial conferences since 1994
2011-12 Geneva, Swiss
“Importance of the Multilateral Trading System and the WTO”,
"Trade and Development”
“Doha Development Agenda”.
2013-12 Bali, Indonesia
A series of decisions aimed at streamlining trade, allowing developing countries more options for providing food security, boosting least-developed countries’ trade and helping development more generally
2015-12 Nairobi, Kenya
11th 2017-12 Buenos Aires, Argentina
§3 China and WTO
China's accession to the WTO
China was one of the 23 original signatories of the GATT in 1948.
After the Civil War and the establishment of the People’s Republic of China and the Republic of China, the government in Taiwan was the official representative of China.
The United Nations and the GATT wanted to impose an embargo on China, but this was not possible as long as China still was a member. Taiwan’s foreign trade was unremarkable and to harm the government in Beijing, ROC President Jiang Kaishek announced that China would leave the GATT system.
Although the government in Beijing never recognized this withdrawal, nearly 40 years later in 1986, China notified the GATT of its wish to resume its status as a member of the GATT. A working party was established in 1987 and China’s long way of entering the GATT/WTO began.
1987-03-04: China’s Working Party concerned
only China's trade regime for goods.
1995: WTO Working Party’s scope include trade in services, new rules on non-tariff measures and rules relating to intellectual property rights.?
2001-09-17: final meeting of the Working Party held, marks the final conclusion of negotiations on China’s WTO accession.
2001-11-10: the Doha Ministerial Conference approved by consensus the text of the agreement for China’s entry into the WTO.
2001-12-11: China ratified its membership and became a full member, the WTO’s 143rd .?
2. Opportunities and challenges to China?
Opportunities
?
① China will be offered multilateral, unconditional and stable MFNT by all
WTO Members.
② As a full member, China will take part in all negotiations regarding
various areas, stipulating and amending the relative regulations as well
as the construction of the multilateral trade system.
③ By making use of the mechanism and procedures of trade dispute
settlement of the WTO, China can solve trade disputes with other
countries more fairly and reasonably.?
④ By making use of the WTO forum, China may publicize its policy of
reform and opening to the outside world, actively develop cooperation
and communication with other countries in the field of economics,
trade and technology.?
(2) Challenges
① Transparency and predictability
Laws and regulations including those not previously available to the
public will be regularly published (in the WTO languages as well).
A 30-day period for obtaining information and commentary is
planned prior to the implementation of new laws and regulations.
② Tariffs
Significantly reduce its tariffs on industrial products by January 2005 to 8.9% (down from an average of 25%)
Tariffs will be significantly reduced on medical equipment, scientific equipment, motor, etc.
③ Service commitments
Elimination of market access restrictions will liberalize the service sectors including telecommunications, insurance, banking, and professional services such as accounting, legal and management services.
④ Trading rights and distribution
All enterprises in China will be granted full trading rights
(except for limited products reserved for trade by state enterprises).
Allow foreign companies distributing products through their own wholesale and retail systems or to provide related distribution services.
⑤ Import licensing
Import licensing system must comply with the principles of
national treatment and non-discrimination.
⑥ Importation and investment approvals
Importation and investment approvals will become easier with the removal of many pre-conditions.
The WTO TRIMS and the TRIPS Agreement will be followed.
⑦ Trade-related intellectual property rights
China’s development of the protection of intellectual property rights will be realized via full implementation of the TRIPS
Agreement.
⑧ Technical barriers to trade
Comply with WTO Technical Barriers to Trade (TBT) Agreement
(inspection, testing, domestic taxes, and other measures, …).
⑨ Taxes
Ensure that its laws and regulations relating to internal taxes (national, provincial and local) and import charges comply with WTO rules, and are applied non-discriminatingly.
⑩ Subsidies
All subsidies on industrial goods prohibited under WTO rules will be eliminated.
(3) Changes after WTO accession
In 2009, China became the world’s second largest economy as measured by GDP; and GDP per capita also jumped from No. 130 in 2000 to No. 100 in the world.
Trade volume increased from $1.4 trillion in 2000 to $2.56 trillion (No. 3 in the world) in 2008 and trade share in the world quickly increased from 3% to 9%.
High-tech product’s share in China’s export also increased rapidly.
Actually almost all sectors that have been opened have witnessed strong growth, such as the automobile sector (China became the largest producer with a share of 17.2% in the world), telecom, transportation, legal, etc.
Openness attracts more FDI, increases FDI related employment, and tax income from foreign companies.
Steady progress was made in the reform of economic system and in the structural adjustment.
Human development indicators also had considerable improvements.
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